i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Pmdential Securities Inc. v. Glenn Cohen Docket Number: 2002-011207 Attomeys: For Claimant(s): Christopher Freeze - New York, NY For Respondent(s): Allan R. Holmes - Charicston, SC Date Filed: 12/18/2002 First Scheduled: 09/17/2003 Decided: 11/9/2004 Case Summary: Member firm alleges the Respondent failed to repay a promissory note following his

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: John Jennings, Marian Jennings and Noreen Walsh, as tmstees for the Jennings Revocable Tmst v Merrill Lynch, Pierce, Fenner & Smith Inc. and Merrill Lynch & Company Docket Number: 2002-011187 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed; 12/23/2002 First Scheduled; 6/15/2004 Decided: 7/22

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: J. Craig Kelly, as tmstee for the D.D.S.P.A. Pension and Profit Sharing Account v Merrill Lynch Pierce Fenner Smith Inc. and Merrill Lynch & Company Docket Number: 2002-011185 Attomeys: For Claimant(s): Kevin B. Love - Coral Gables, FL For RespoDdent(s): Bonnie Altro - New York, NY Date Filed; 12/12/2002 First Scheduled: 6/15/04 Decided; 9/22/04 Case Su

i NYSE New York Stock Exchange ID the Matter of Arbitration Between Case: Curt Kurtz, as tmstee for the Kurtz Clinic Profit Sharing Plan v Merrill Lynch Pierce Fenner Smith Inc. and Merrill Lynch & Company Inc. Docket Number: 2002-011183 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed; 12/12/2002 First Scheduled: 6/30/2004 Decided: 8/19/04 Case Summary: Cu

i NYSE New York Stock Exchange In tbe Matter of Arbitration Between Case: Helen Geldbach, as trustee for the Geldbach Petroleum Company Trust, v Merrill Lynch Pierce Fenner Smith and Merrill Lynch & Company Docket Number: 2002-011182 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent's): Bonnie Altro - New York, NY Date Filed: 12/12/2002 First Scheduled: 6/30/2004 Decided: 7/8/04 Case Summary: Custome

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Charles Hill v Merrill Lynch Pierce Fenner Smith Inc. and Merrill Lynch & Company Inc. Docket Number: 2002-011181 Attomeys: For Claimant(s): Kevin B. Love - Coral Gables, FL For Respondent(s): Boimie Altro - New York, NY Date Filed: 12/12/2002 First Scheduled: 07/30/2004 Decided: 9/15/04 Case Summary: Customer claimant alleges breach of contract, fa

i^NYSE New York Stock Exchange In tbe Matter of Arbitration Between Case: Barbara Vacchiano, individually and as custodian for Emily Vacchiano and as custodian for Michael Vacchiano v Merrill Lynch Pierce Fenner Smith Inc. and Merrill Lynch & Company Docket Number: 2002-011179 Attomeys: For ClaimaDt(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed; 12/12/2002 First Scheduled; 6/30/2004 D

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Diane Dello Russo, individually; Robert Dello Russo, individually and Robert Dello Russo and Diane Dello Russo, as tmstees for the Del Air Profit Sharing Plan v Merrill Lynch Pierce Fenner Smith and Merrill Lynch & Company Inc. Docket Number: 2002-011178 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Fil

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Marvin Leventhal as trustee for the Leventhal Realty Inc. Profit Sharing Plan v Merrill Lynch, Pierce Fenner Smith Inc. and Merrill Lynch & Company Docket Number: 2002-011176 Attomeys: For Claimant(s): Kevin B. Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 12/12/2002 First Scheduled; 06/15/2004 Decided; 10/22/04 Case

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: James E. O'Kane, Trustee and James E. O'Kane 2000 Trast v. Morgan Stanley Dean Witter and Scott K. Magnesen Docket Number: 2002-011168 Attomeys: For Claimant(s): Erwin Cohn - Chicago, IL For RespoDdeDt(s): Leonid Feller - Chicago, IL Date Filed; 12/16/2002 First Scheduled; 06/22/2004 Decided: 12/27/2004 Case Summary: Public customers v. member firm and regi